Alan N. Schiff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan N Schiff was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1996. Alan had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2012 - December 31, 2018
GLOBAL PORTFOLIO STRATEGIES, INC.
October 2, 2012 - April 17, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 23, 2012 - September 19, 2012
VOYA FINANCIAL ADVISORS, INC.
March 5, 2012 - September 19, 2012
VOYA FINANCIAL ADVISORS, INC.
September 20, 2011 - February 23, 2012
LPL FINANCIAL LLC
September 20, 2011 - February 23, 2012
LPL FINANCIAL LLC
September 4, 2007 - July 26, 2011
GLOBAL PORTFOLIO STRATEGIES, INC.
September 4, 2007 - July 26, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 20, 2006 - July 16, 2007
MML INVESTORS SERVICES, LLC
June 11, 2004 - July 16, 2007
MML INVESTORS SERVICES, LLC
March 4, 2003 - June 2, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
January 23, 2002 - June 2, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
July 12, 1999 - June 26, 2001
CITICORP INVESTMENT SERVICES
April 10, 1997 - June 22, 1999
NORTHEAST SECURITIES, LLC
December 9, 1996 - April 9, 1997
JARON EQUITIES CORP.
September 9, 1996 - December 18, 1996
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/30/2022
General Securities Representative ExaminationSeries 6TO
Date: 6/30/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
GLOBAL PORTFOLIO STRATEGIES, INC.
CRD#: 105812 / SEC#: 801-16664
Contact information
Regulatory assets under management
| Total Number of Accounts | 285 |
| AUM (Assets Under Management) | $ 1,695,414,336 |
Red Flags
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